DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M•••••• C•••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Apr 1, 2025 · 6 filings
SEC status approved since Apr 28, 2025
RAUM
$959M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$959M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$959M as of May 5, 2026
Apr 1, 2025$370M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 5, 2026
Apr 1, 20250 then
Employees (5.A)7 as of May 5, 2026
Apr 1, 20251 then
Private funds1 as of May 5, 2026
Apr 1, 20251 then
RAUM +159% over the last fiscal yearIARs 0 to 2offices 0 to 4
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $959MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $959MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 0.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +299%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $959M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$959M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $959M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• O•• | Austin, Tx | Apr 17, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• S•••••• Y• · Chief Compliance Officer, Chief Financial Officer, Membercontrolsince 02/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $370,225,258 to $1,476,393,754 (+299.0%) between the annual amendments of 2025-04-01 and 2026-03-27; the peer median change was +8.0% (672 comparable advisers, 99.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 99% percentile
Data quality: the 2026-06-30 holdings report shows $3,370,925,089 across 278 positions while Form ADV reports RAUM of $958,643,639 (3.5x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Assets in custody · $1.5B to $959MMay 5, 2026 to Sep 10, 2026
- Financial planning clients · to unsetMay 5, 2026 to Sep 10, 2026
- Private funds · 1 to unsetMay 5, 2026 to Sep 10, 2026
- Succession · false to unsetMay 5, 2026 to Sep 10, 2026
- Insurance-licensed employees · 2 to 1Mar 27, 2026 to May 5, 2026
- State-registered IARs · 0 to 2Mar 27, 2026 to May 5, 2026
- Discretionary RAUM · $1.5B to $959MMar 27, 2026 to May 5, 2026
- Pooled vehicle RAUM · $1.5B to $959MMar 27, 2026 to May 5, 2026
- RAUM · $1.5B to $959MMar 27, 2026 to May 5, 2026
- Advisory employees · 1 to 5Jan 7, 2026 to Mar 27, 2026
- Assets in custody · unset to 1476393754.0Jan 7, 2026 to Mar 27, 2026
- Custody of client assets · false to trueJan 7, 2026 to Mar 27, 2026
- Employees · 1 to 7Jan 7, 2026 to Mar 27, 2026
- Insurance-licensed employees · 0 to 2Jan 7, 2026 to Mar 27, 2026
- HQ city · LAS VEGAS to AUSTINJan 7, 2026 to Mar 27, 2026
- HQ state · NV to TXJan 7, 2026 to Mar 27, 2026
- Other offices · 0 to 4Jan 7, 2026 to Mar 27, 2026
- Discretionary RAUM · $370M to $1.5BJan 7, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $370M to $1.5BJan 7, 2026 to Mar 27, 2026
- RAUM · $370M to $1.5BJan 7, 2026 to Mar 27, 2026
Signals
2 dated events
- M•••••• C•••••• M••••••••• L•• reported RAUM $958.6M, down 35% from $1.5B (2026-03-27 to 2026-05-05)May 5, 2026 · RAUM change · derived
- M•••••• C•••••• M••••••••• L•• reported RAUM $1.5B, up 299% from $370.2M (2026-01-07 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1-213-444-9705reportedpublic record, Form ADV, Sep 10, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $959Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026